Dawn Bennett
Regulator actionUnited States. Named in 1 sanctions listing.
Sanctions and listings1
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
09/18/2019: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. DAWN BENNETT (CRD No. 1567051), Respondent. Disciplinary Proceeding No. 2015047682402 Hearing Officer-CC DEFAULT DECISION Date: September 18, 2019 Respondent Dawn Bennett failed four times to appear and provide testimony requested pursuant to FINRA Rule 8210 and failed twice to produce
11/09/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Dawn Bennett (CRD No. 1567051), Respondent. DISCIPLINARY PROCEEDING No. 2015047682402 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. From November 2015 to the present, Respondent Dawn Bennett has failed to provide information and documentation requested by FINRA Staff in an investigation involving potentially serious violations, such as conversion, fraud, and private
Reference 2015047682402data-portal.finra.orgfinra.orgdata-portal.finra.org
Identifiers1
| Identifier | Number |
|---|---|
| ID number | 1567051 |
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